Compliance Monitoring Manager
3 weeks ago
Our client is multinational Corporate and Retail banking company based in the City. They are looking for a Compliance Manager - Financial Crime Prevention to join the team on a permanent basis.
To possess a thorough and up-to-date understanding of: relevant financial crime regulatory rules; anti-money laundering and terrorist financing legislation; the Proceeds of Crime Act; statutory financial crime guidance and other statutes/guidance applicable to the Bank’s business.
Manage and complete the evaluation of suspicious activity reports (SARs) and make disclosures to the National Crime Agency (NCA), acting as a central point of contact for all SARs disclosures and for communication with relevant authorities including the NCA.
To develop and embed appropriate controls, policies and procedures to manage financial crime risk across the Bank and support the day-to-day operations of the Financial Crime Prevention Team to help the Bank conduct its activities in accordance with regulatory requirements including transaction monitoring and sanctions screening activities.
Develop and train and develop staff in the Financial Crime Prevention Team.
Provide training to staff as required: to enable the effective operation of systems and controls; to maintain awareness and to ensure that they understand their individual and corporate responsibilities regarding the detection and prevention of financial crime in the Bank.
Conduct activities in accordance with regulatory requirements.
As required review and conduct investigation on AML\KYC alerts generated from the Bank’s transaction monitoring and name screening systems.
Maintain robust records of SARs and complete analysis of data as required in support of identifying trends, risk areas and continuous enhancement of the Bank’s controls for prevention and detection of financial crime.
Production of financial crime management information (MI) and reports to management or other stakeholders as required.
Resolution of AML/KYC referrals or otherwise and provision of guidance to staff in line with policy and compliance requirements.
Completion of Compliance Monitoring Reviews including completion of field work, identification of findings and report writing.
Respond to enquiries from law enforcement agencies and other relevant bodies as may be required (e.g. regulators) and provide full cooperation with enforcement with law enforcement authorities as necessary.
Assist with the preparation and implementation of polices and processes to help mitigate financial crime risks and maintain compliance.
Evaluation and approval or otherwise of referrals from staff including high risk customers and downgrade requests.
Assist with the preparation and timely submission of the annual financial crime report (REPCRIM) to the FCA.
To undertake projects and assignments from time-to-time as directed by management.
AML experience required, **NOT KYC**
Experience of management, completion and maintenance of financial crime processes
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